Timothy S. Carley

TCW INVESTMENT MANAGEMENT COMPANY LLC

Boston, MA 02116

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CRD#: 6961069

Professional summary

Timothy Sean Carley JR., who also goes by Timothy Sean Carley Jr, Timothy Sean Carley, is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Boston, Massachusetts and TCW FUNDS DISTRIBUTORS LLC located in Boston, Massachusetts.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Timothy has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy Sean Carley Jr | Timothy Sean Carley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Sean Carley JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 23, 2025 - Present

TCW INVESTMENT MANAGEMENT COMPANY LLC

Office #1: 200 clarendon street, 51st floor, Boston, MA 02116

RIA

CRD#: 106546

Boston, MA

Current

January 23, 2025 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: The John Hancock Tower 200 Clarendon St 51st Floor, Boston, MA, 02116

CRD#: 16670

Boston, MA

Past

January 30, 2024 - January 2, 2025

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

July 13, 2020 - January 2, 2025

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TCW INVESTMENT MANAGEMENT COMPANY LLC

TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC

CRD#: 106546 / SEC#: 801-29075

RIA

Registered Investment Advisory firm - (2/18/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(1/23/2025)

IAR

Colorado
(1/23/2025)

Delaware
(1/23/2025)

IAR

Delaware
(1/23/2025)

Iowa
(1/23/2025)

IAR

Iowa
(1/23/2025)

Kansas
(1/23/2025)

IAR

Kansas
(1/23/2025)

Maryland
(1/23/2025)

IAR

Maryland
(1/23/2025)

Massachusetts
(1/23/2025)

IAR

Massachusetts
(2/5/2025)

Missouri
(1/23/2025)

IAR

Missouri
(1/23/2025)

Montana
(1/23/2025)

IAR

Montana
(1/23/2025)

Nebraska
(1/23/2025)

IAR

Nebraska
(1/27/2025)

New Jersey
(10/16/2025)

IAR

New Jersey
(10/17/2025)

New York
(10/16/2025)

IAR

New York
(10/16/2025)

North Dakota
(1/23/2025)

IAR

North Dakota
(2/20/2025)

Oklahoma
(1/23/2025)

IAR

Oklahoma
(1/23/2025)

Pennsylvania
(1/23/2025)

IAR

Pennsylvania
(1/23/2025)

South Dakota
(1/23/2025)

IAR

South Dakota
(2/6/2025)

Wyoming
(1/23/2025)

IAR

Wyoming
(1/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/24/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/16/2021

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 7/13/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/10/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TCW INVESTMENT MANAGEMENT COMPANY LLC

TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC

CRD#: 106546 / SEC#: 801-29075

RIA

Registered Investment Advisory firm - (2/18/1987 Approved)

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Contact information

Main Address

515 South Flower Street, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 244-0000

Established

Firm type

Fiscal year end

# of Employees

419

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TIMCO - FORM ADV PART 2A - FILE COPY - 03.28.2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,758
AUM (Assets Under Management)	$ 40,149,916,771

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Timothy S. Carley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Sean Carley JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2024

Series 63

Date: 9/21/2020

Series 7TO

Date: 3/16/2021

Series 6TO

Date: 7/13/2020

SIE

Date: 3/10/2020

FINRA

Current Firm

TCW INVESTMENT MANAGEMENT COMPANY LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCW INVESTMENT MANAGEMENT COMPANY LLC

TRUST BUT VERIFY

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